Regional Supervisory Principal

TIAA

. Review and accept, on behalf of the firm, recommendations made to clients .

Posted 11/4/2026full-timeUnited StatesLead💰 $59,100 - $76,400 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in compliance, risk management, and relationship management while effectively reviewing client recommendations and communications. Holds necessary licenses and certifications to ensure alignment with regulatory expectations.

Highest-signal resume keywords

FINRA Series 7Life And Health Insurance LicenseCompliance KnowledgeRisk ManagementRelationship Management

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Client Recommendation ReviewWritten Correspondence ReviewElectronic Communication ReviewRisk MonitoringRisk MitigationBusiness Processes KnowledgeBusiness Acumen

Soft Skills

Strong CommunicationDetail OrientationInfluenceRelationship Management

Certifications & Qualifications

FINRA Series 24

About the role

Key responsibilities & impact

Review and accept, on behalf of the firm, recommendations made to clients
Review written correspondence and electronic communications to and from associated persons of the broker-dealer
Proactively engage business partners across the organization to resolve or escalate issues
Develop and maintain strong working relationships within the team and with business-line stakeholders
Ensure representative activities align with firm and regulatory expectations

Requirements

What you’ll need

3+ years of work experience required; 5+ years preferred
FINRA Series 7 required
FINRA Series 24 preferred and must be obtained within the first 120 days
Life and Health Insurance License (Resident State) – Multiple Issuers required
University degree preferred
Ability to review and accept recommendations made to clients on behalf of the firm
Ability to review written correspondence and electronic communications to and from broker-dealer associated persons
Sedentary work capability
Knowledge of compliance, risk management, risk monitoring, risk mitigation, business processes, and business acumen
Strong communication, relationship management, influence, and detail-orientation skills

Benefits

Comp & perks

Superior retirement program
Competitive health, wellness, and work-life offerings
Incentive program linked to performance may be available, including annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans
Meaningful learning experiences and development pathways
AI tools and future-focused skills development
Hybrid Flex work arrangement